- BMO Financial Group (New York, NY)
- …on compliance matters. + Advises business/group on implications of new regulatory developments or internal products, and assists to implement new/revised policies ... and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to ...Typically 10+ years of relevant experience and a post-secondary degree (ie JD, MBA) in related field of study… more
- BMO Financial Group (New York, NY)
- …and Commodities ("FICC") LOBs and other internal business partners to ensure regulatory , corporate and fiduciary obligations are met. You will have a specific ... BMO's Fixed Income activities, and maintain current knowledge of regulatory requirements and developments, monitoring risk/trade surveillance, and identifying and… more
- Bloomberg (New York, NY)
- …under the UK Benchmark Regulation ("BMR"). The ideal candidate will have regulatory as well as product knowledge and experience with indices, financial benchmarks ... financial markets; be familiar with relevant FCA and European regulatory requirements as well as IOSCO principles; and be...solve complex problems and streamline processes + A Bachelor's Degree **We'd love to see:** + Industry experience in… more
- Leviton (Melville, NY)
- …projects and supporting project teams in securing and maintaining product regulatory compliance. This individual will collaborate with virtually all departments ... generating and publishing meeting minutes with associated action items, etc. Regulatory : Collaborates closely with Engineering and Product Management to secure and… more
- American Express (New York, NY)
- …Our professionals come from diverse backgrounds including internal controls, regulatory compliance, financial accounting, operational risk, technology, and data ... group responsible for managing audit operations, quality and standards, regulatory relations, reporting, training and professional development, and key internal… more
- SMBC (New York, NY)
- …with a strong background in data management, technology transformation, or regulatory programs within financial services. + Undergraduate degree required; ... part of SMBC Americas' strategy to build a commercially competitive, US regulatory -based Commercial and Investment Bank, SMBC Americas Division has launched an… more
- TD Bank (New York, NY)
- …We are seeking a strategic and analytical Manager to join our Enterprise Regulatory Compliance Management (RCM) Risk Assessment team. This role is ideal for a ... to the team's roadmap, quality assurance efforts, and alignment with regulatory expectations.** + **Participate in regulatory reviews, internal audits,… more
- TD Bank (New York, NY)
- …a key role in the USA providing support in financial, management, liquidity, and regulatory reporting. In addition, by its nature as a primary control and support ... & Reconciliation Control teams to resolve issues. + Work collaboratively with Regulatory reporting team, Financial Operations teams to prioritize Regulatory … more
- TD Bank (New York, NY)
- …relevant policies and procedures + Ensure governance documents align with regulatory expectations, internal standards, industry best practices, and enterprise risk ... Ensure the updating of relevant governance documentation adequately reflects evolving legal, regulatory , and industry best practices + Lead and draft responses to… more
- Mizuho Corporate Bank (New York, NY)
- …reducing risk and enabling Mizuho to meet growing business expectations and regulatory requirements.As part of Mizuho Americas' ongoing efforts to building a more ... leadership to ensure the program is comprehensive, effective, and aligned with regulatory expectations and industry best practices. Key areas of focus include… more